11. Professional regulation and discipline
Learning objectives
• understanding the legal significance of registration of medical practitioners
• identifying the framework for national registration of all health practitioners in Australia operative on 1 July 2010
• identifying the requirements for registration
• identifying the legislation relevant to the regulation of medical practitioners
• identifying conduct that would provide the grounds for disciplinary action
• understanding the disciplinary process and possible outcomes of disciplinary hearings.
Introduction
Both regulated and unregulated workers and professionals undertake the delivery of healthcare services within Australia. Unregulated health workers and professionals are those not registrable or registered with a professional regulatory authority. That is, they are not required to have a practising licence, conferred by a regulatory authority, in order to work within the healthcare system. Examples of unregulated health workers or professionals include personal care attendants, dieticians and social workers. Regulated health professionals, such as nurses, pharmacists and medical practitioners must, however, possess a licence or practising certificate conferred by a professional regulatory authority in order to work in their chosen professions. The status of registration thereby restricts those who may practice in an identified profession to only those who hold a practising licence or certificate. Registration also confers on those professionals the legal authority to use an identified title (such as doctor, medical practitioner, or pharmacist) and undertake certain tasks; for example, prescribing narcotics or carrying out a specific procedure such as surgery. The objectives of registration and regulation of medical practitioners in Australia is to protect the public and maintain professional standards of practice. These objectives are met through the registration and regulation processes which require that each medical practitioner possesses the requisite educational qualifications, is fit to practice in their chosen profession and maintain a standard of conduct which is consistent with that expected by their peers and the public.
At the time of writing, the registration and regulation of medical practitioners is governed by the relevant state and territory Acts which establish medical boards in each of the individual jurisdictions. There are currently in excess of eighty health practitioner registration boards across Australia. 1 By 1 July 2010, however, a national registration and accreditation scheme will be in place which aims to standardise the regulation and disciplinary procedures across all the regulated health professionals. This chapter will provide an overview of the structures and broad principles relevant to the registration and regulation of those health professionals, including medical practitioners, who will be included under the national scheme. The chapter will also outline the professional disciplinary issues and procedures, and the codes of ethics and conduct, relevant to the regulation of medical practitioners.
Background to National Registration
In 2005 the Commonwealth government requested that the Productivity Commission conduct a study into:
issues impacting on the health workforce including the supply of, and demand for, health workforce professionals and propose solutions to ensure the continued delivery of quality healthcare over the next 10 years. 2
In 2006 the Council of Australian Governments (COAG) supported the recommendations as contained in the Productivity Commission Research Report titled Australia’s Health Workforce, and agreed to establish both a single national registration board and a single national accreditation board for the registration, eduction and training of health professionals. In 2008 COAG, under an intergovernmental agreement, agreed to establish a single national scheme ‘to create nationally consistent, rigorous registration and accreditation arrangements and improve public protection’. 3
[T]o establish a single national scheme, with a single national agency encompassing both registration and accreditation functions. The national registration and accreditation scheme will consist of a Ministerial Council, an independent Australian Health Workforce Advisory Council, a national agency with an agency management committee, national profession specific boards, committees of the boards, a national office to support the operations of the scheme and at least one local presence in each State and Territory. 4
The objectives of the scheme were to: 5
• provide for the protection of the public by ensuring that only practitioners who were suitably trained and qualified to practise in a competent and ethical manner are registered
• facilitate workforce mobility across Australia and reduce red tape for practitioners
• facilitate the provision of high quality education and training and rigorous and responsive assessment of overseas trained practitioners
• have regard to the public interest in promoting access to health services
• have regard to the need to enable the continuous development of a flexible, responsive and sustainable Australian workforce and enable innovation in education and service delivery.
Queensland was the state chosen to initially enact the substantive legislation giving effect to the national scheme. The national legislation was enacted in Queensland in two stages. The first stage, covering the provisions of the COAG Agreement, was introduced into the Queensland Parliament in October 20086 and the second stage in August 2009. The second stage included details for the arrangements required for registration, accreditation, complaints and enforcement, privacy and information sharing. 7 Extensive consultation, involving the professions and the public, was conducted as part of the process. 8 The other states and territories have followed the Queensland lead using their ‘best endeavours’ to repeal their existing regulatory legislation in relation to the health professionals included under the new scheme.
The legislative framework was introduced in such a way, and at a pace, so as to facilitate the development of entities and administrative arrangements necessary to implement the new national scheme. The following is an overview of the stages and legislation establishing the National Law: 9
• First stage: Health Practitioner Regulation (Administrative Arrangements) National Law Act 2008, which commenced on 25 November 2008 and remains in force until 1 July 2010. 10 This Act gives effect to the administrative requirements to establish a National Registration and Accreditation Scheme.
• Second stage: Health Practitioner Regulation National Law Act 2009, with the Health Practitioner Regulation National Law (the National Law) contained in the Schedule effective on 1 July 2010.
• Third stage: Each state and territory introduced a Bill to adopt the National Law. As Queensland passed the Act in 2009 there is no requirement in that state for further legislation. 11
Table 11.1 provides an overview of the implementation of the national scheme across the jurisdictions.
Jurisdiction | Progress |
---|---|
ACT | The Health Practitioner Regulation National Law (ACT) Bill. Adoption Law passed 16.3.2010 |
Commonwealth | Health Practitioner Regulation (Consequential Amendments) Bill 2010 introduced into the House of Representatives 24.2.2010 awaiting debate |
New South Wales | Health Practitioner Regulation Act 2009. Adoption Law passes 11.11.2009 |
Northern Territory | Health Practitioner Regulation (National Uniform Legislation) Bill 2010. Adoption Law passed 17.3.2010 |
Queensland | Health Practitioner Regulation National Law Bill 2009. Adoption Law passed 3.11.2009 |
South Australia | Health Practitioner Regulation National Law (South Australia) Bill 2010. Consultation on draft Bill commenced |
Tasmania | Health Practitioner Regulation National Law (Tasmania) Bill 2009. Passed by House of Assembly 17.11.2009 and awaiting debate in Tasmanian Legislative Council |
Victoria | Health Practitioner National Law (Victoria) Act 2009. Statute Act Amendment (National Health Practitioner Regulation) Bill introduced into the Victorian Legislative Assembly 24.2.2010 |
From 1 July 2010 the national registration and accreditation scheme covers the ten health professions to be initially included in the national scheme: chiropractors; dental (including dentists, dental hygienists, dental prosthetists and dental therapists); medical practitioners; nurses and midwives; optometrists; osteopaths; pharmacists; physiotherapists; podiatrists; and psychologists. From 1 July 2012 the scheme will be expanded to include Aboriginal and Torres Strait Islander health practitioners, Chinese medicine practitioners, and medical radiation practitioners. 12
Structure and Function of The National Scheme
In November 2008 the Health Practitioner Regulation (Administrative Arrangements) National Law Act (Qld) was enacted to establish the structure of the national registration and accreditation scheme and empower the bodies identified under the Act to develop and implement the scheme. The Act established the Ministerial Council, Australian Health Workforce Advisory Council, National Agency (the affairs of which are to be conducted by the Agency Management Committee) and the National Boards for each of the health professions covered by the scheme. 13 In relation to medical practitioners, the Medical Board of Australia was established under the Act. There will also be a local presence for each of the professional disciplines in each state and territory. Section 3 of the Health Practitioner Regulation (Administrative Arrangements) National Law Act 2008 (Qld) (‘the Act’) states the object of the legislation:
(2) A person or body that has functions under this Law is to exercise those functions having regard to the objectives of the national registration and accreditation scheme, as set out in the COAG Agreement. 14
The Ministerial Council, comprising the Ministers of government in the participating jurisdictions of the Commonwealth with portfolios responsibile for health, must take into account concerns and advice from the Australian Health Workforce Advisory Council (Advisory Council). In anticipation of the commencement of the national registration and accreditation scheme, the Ministerial Council may also approve ‘health profession standards’15 for any health profession provided it has been approved by the National Board established for that particular discipline of health professionals. In addition, the Ministerial Council is empowered to request that a particular National Board review a health profession standard, and approve or revoke amendments to an existing health profession standard. That is, the Ministerial Council may request the Medical Board of Australia to review, approve, revoke or amend professional standards for medical practitioners in Australia.
The Advisory Council is established under Part 3 of the Act as an independent body which provides advice to the Ministerial Council on: 16
• any matter relating to the scheme referred to it by the Ministerial Council, including those matters upon which the Ministerial Council is not able to reach a decision
• any other matters relating to the scheme that the Advisory Council considers appropriate.
Part 4 of the Act provides for the Australian Health Practitioners Regulation Agency and, under s 18, the National Agency. The principle functions of the National Agency are set out in section 20(1) as follows:
(a) to establish general requirements for the development of health profession standards for the purpose of ensuring the scheme operates in accordance with good regulatory practice;
(b) in consultation with National Boards, to develop procedures for the purpose of ensuring the efficient and effective operation of the National Boards;
(c) to provide administrative assistance to the National Boards and their committees;
(d) to negotiate in good faith with, and attempt to come to agreement with, each National Board on the terms of a health profession agreement for the health professional for which the Board is established;
(e) to provide advice to the Ministerial Council in connection with the development and implementation of the national registration and accreditation scheme;
(g) in anticipation of the commencement of the national registration and accreditation scheme, to do anything else that is necessary or convenient for the purpose of preparing and enabling the National Agency to exercise any other functions the COAG Agreement provides will be conferred on the National Agency under the scheme.
The National Agency is required to establish a national office and at least one office in each participating state and territory.
The Agency Management Committee is established to conduct the affairs of the National Agency and is subject to the direction of the Ministerial Council. It is the role of the Agency Management Committee to determine the policies of the National Agency and ensure the National Agency performs its functions ‘in a proper, effective and efficient way’. 17
The National Agency is required to establish National Boards18 for each discipline of health professions covered by the scheme. Under the Health Practitioner Regulation National Law Act (2009) the functions of the National Boards are to include:
• registering suitably qualified and competent persons and, if necessary, imposing conditions on their registration;
• determining the requirements for registration or endorsement, including arrangements for supervised practice;
• developing or approving standards, codes and guidelines for health professionals;
• approving accredited programs of study as providing qualifications for registration;
• overseeing the assessment of knowledge and clinical skills of overseas trained applicants for registration;
• negotiating in good faith with the National Agency on the terms of a health profession agreement;
• overseeing the receipt, assessment and investigation of notifications about persons who were or are registrants or students in the health profession;
• establishing a panel to conduct hearings about health, performance and professional standards;
• referring matters about health practitioners who are or were registered to responsible tribunals;
• making recommendations, giving advice, assistance or information to the Ministerial Council;
• in conjunction with the National Agency keeping up-to-date publicly accessible national registers;
• providing financial or other support for health programs for registered health practitioners and students;
• doing anything else that is necessary or convenient for the effective or efficient operation of the national registration and accreditation scheme;
• any other function given to the board by or under this law.
On 8 May 2009 the Australian Workforce Ministerial Council issued a communiqué on the design of the national registration and accreditation scheme. In this communiqué the Australian Workforce Ministerial Council agreed that the function of accreditation was to be independent of government with accreditation standards developed by independent accrediting bodies or accreditation committees of the professional boards. The final decision as to whether ‘the accredited standards, courses and training programs are approved for the purposes of registration is the responsibility of the National Board’. 19 It is noted, however, that the Ministerial Council has retained the power to act where changes to accreditation standards, such as clinical placement hours or workplace or work practices, would ‘have a significantly negative effect’. 20 The national accreditation standards that currently exist are to continue until replaced by new standards. Bodies such as the Australian Medical Council and the Australian Pharmacy Council will continue in their current roles. In addition, the communiqué outlined the following:
• there will be both general and specialist registers where the Ministers agree there is a requirement for specialist registration
• there will be a requirement that registrants participate in continuing professional development programs approved by the national professional boards as a pre-requisite to registration renewal
• the introduction of mandatory reporting of registrants who place ‘the public at risk of harm’21
• mandatory criminal history and identity checks of all health professionals registering for the first time, with all other registrants making an annual declaration upon application for renewal of registration; the National Boards will have the power to conduct ad hoc criminal history and identity checks of registrants
• registration of students enrolled in the health disciplines through a deeming process based on student lists supplied to the boards by educational providers
• the prescribing of cosmetic lenses to be restricted to optometrists and medical practitioners.
National Medical Board (Medical Board Of Australia) 22
As stated above, the Medical Board of Australia was established under the Health Practitioner Regulation (Administrative Arrangement) Act 2008 and, from 1 July 2010 the Medical Board will operate under the Health Practitioner Regulation National Law (the National Law) in jurisdictions where it had been adopted. The first meeting of the Medical Board of Australia took place on 20 September 2009. To the time of writing, the board has:
focused on its priorities in preparing for the introduction of the national registration and accreditation scheme and on preparatory work to enable it to fulfil its statutory functions from 1 July 2010. 23
This has included consideration of the structure and delegation to state and territory boards, establishing a specialist register, development, adoption and re-issuing of codes and guidelines, registration standards, medical courses and specialist qualifications, mandatory reporting, advertising guidelines, scheduled medicine endorsements and decisions about the publication of conditions, undertakings and reprimands in the register. 24
Transition from state- and territory-based to national-based registration
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